From the Blog

Speaker, Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers, Strafford Continuing Legal Education for Lawyers’ webinar, October 4, 2016

https://www.straffordpub.com/products/funding-platforms-for-rule-506-offerings-navigating-broker-dealer-registration-exemption-for-investment-advisers-and-issuers-2016-10-04

Outline

  1. Analysis of JOBS Act exemption from broker-dealer registration and broker-dealer registration generally
  2. Analysis of the issuer exemption and the Investment Advisers Act
  3. Analysis of SEC no-action letter
  4. Key take-aways for moving forward.

Benefits

The panel will review these and other key issues:

  • Scope of JOBS Act exemption from broker-dealer registration
  • When broker-dealer registration is required
  • Take-aways from SEC’s no-action letters to AngelList and FundersClub
  • Discussion of the issuer exemption and Investment Adviser’s Act.

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